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Financial Services Commission of Ontario

Compliance Officer


Posted 29 Days Ago120545 -1561590

Company Information


Job Description

Compliance Officer   

Do you demonstrate sound knowledge of market conduct assessment principles, combined with exceptional customer service and financial analysis skills? Then consider these opportunities with the Financial Services Commission of Ontario (FSCO) to investigate and resolve complex inquiries relating to financial service institutions and intermediaries in the sectors regulated by FSCO.

What can I expect to do in this role?

You will:

• receive and respond to complaints, allegations and inquiries about potential misconduct of individuals and companies regulated by FSCO (e.g. insurance companies, mortgage agents/brokers, credit unions, caisses populaires, cooperatives, intermediaries);
• determine the nature of the complaint/allegation, analyze documents, identify issues and determine the level of risk;
• perform detailed fact-finding inquiries (including on-site market conduct reviews) and interview representatives of the financial services institutions and intermediaries;
• provide technical information, advice, guidance and interpretation;
• facilitate market-driven solutions to resolve issues and improve compliance;
• prepare timely and comprehensive case analysis, reports and compliance letters;
• recommend follow-up investigation and/or enforcement action;
• participate on project teams for the review and development of systems, procedures and processes;
• participate in stakeholder consultations to promote risk-based approaches and establish industry cooperation.

Location: North York

How do I qualify?

Technical Skills and Knowledge:

• You have experience in and knowledge of FSCO-regulated financial service sectors/industries (mortgage brokering, property and casualty insurance including automobile, life and health insurance, credit unions/caisses populaires).
• You have excellent knowledge of/skills in the principles and practices of market conduct review and assessment.
• You have knowledge of risk-based regulatory compliance principles, standards, tools and techniques within a financial services environment.
• You have demonstrated knowledge of/experience in performing detailed business and financial analysis.
• You have knowledge of accounting and internal audit practices and methods.

Analytical, Research and Organizational Skills:

• You demonstrate superior research and investigative skills.
• You can analyze complex business documents/financial statements, make recommendations, and prepare comprehensive case reports.
• You demonstrate organizational skills, sound judgment and the ability to make independent decisions in a high-volume and fast-paced environment.
• You can interpret legislation and policies related to the regulation of financial service industries.

Communication and Customer Service Skills:

• You demonstrate superior communication, listening and consultation skills.
• You can effectively respond to and resolve unique or complex inquiries, complaints and allegations.
• You have knowledge of writing and editing principles, practices, styles and techniques.
• You are skilled in preparing detailed analytical reports, briefing notes, complex correspondence and procedures/processes.
• You have exceptional interpersonal and customer service skills.
• You can defuse/reconcile conflicts and resolve disputes and confrontational situations.
• You have experience in a high volume, technically complex, customer service role.
• You demonstrate excellent team membership skills.

Salary Range: $1,268.55 - $1,623.47 per week

Additional information:

  • 1 Permanent, 5160 Yonge St, North York, Toronto Region
  • 1 Temporary, duration up to 12 months, 5160 Yonge St, North York, Toronto Region

Please apply online, only, by Thursday, March 8, 2018, by visiting and entering Job ID 120545 in the Job ID search field. Please follow the instructions to submit your application. Faxes are not being accepted at this time.

If you require accommodation in order to participate in the recruitment process, please contact us at to provide your contact information. Recruitment Services staff will contact you within 48 hours. Only those applicants selected for an interview will be contacted.

The Ontario Public Service is an inclusive employer. Accommodation will be provided in accordance with Ontario’s Human Rights Code.


Contact Information

Financial Services Commission of Ontario